Year: 2017

The Commission filed a settled financial fraud action centered on three restatements against a company and two of its officers last fall. It charged violations of Exchange Act Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B). The cooperating company settled, consenting to …

Two Restatements Results in Settled SEC Financial Fraud Charges Read More »

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The Supreme Court agreed to hear another securities case this week. Leidos, Inc. v. Indiana Public Retirement System, No. 16-581. The only other securities action currently on the High Court’s docket is Kokesh v. Securities and Exchange Commission, No. 16-529. …

Supreme Court Agrees To Hear Securities Case Read More »

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